Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Andrew David Benson | 5365347 | 1 | 03/20/2017 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Erick Manuel Miron | 2938591 | 10 | 03/16/2017 | Customer Dispute | Closed-No Action | $9,410.84 | $0.00 | See FINRA Report |
| Philip Michael Faulk | 2801866 | 3 | 02/22/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Glenn Halliwell | 1048466 | 4 | 02/07/2017 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| William Eldredge Swanson | 870561 | 4 | 01/31/2017 | Customer Dispute | Settled | $81,000.00 | $0.00 | See FINRA Report |
| Timothy Robert Divito | 5886900 | 1 | 01/27/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joel Andrew Dovi | 4091022 | 1 | 01/23/2017 | Customer Dispute | Denied | $180,000.00 | $0.00 | See FINRA Report |
| Justin William Smith | 5160019 | 1 | 01/04/2017 | Customer Dispute | Settled | $26,963.20 | $0.00 | See FINRA Report |
| Kyle Daniel Roulet | 5035630 | 1 | 12/20/2016 | Customer Dispute | Denied | $7,645.00 | $0.00 | See FINRA Report |
| Frank James McDonnell | 4362128 | 1 | 12/11/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |